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MH

Michael D. Halperin

PHX FINANCIAL
New York, NY 10005
Some features on this profile are disabled
CRD#: 2938978
MH

Professional summary

Michael Dean Halperin is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 11 firms and has passed the Series 63, Series 62, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Dean Halperin's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 20, 2023 - Present

PHX FINANCIAL, INC.

Office #1: 100 Wall Street Floor 10, New York, NY 10005
BD
CRD#: 144403
New York, NY
Past

May 15, 2018 - September 27, 2022

AEON CAPITAL INC

BD
CRD#: 164004
NEW YORK, NY
Past

July 28, 2015 - May 2, 2018

WILMINGTON CAPITAL SECURITIES, LLC

BD
CRD#: 133839
New York, NY
Past

October 5, 2012 - July 28, 2015

FOREFRONT CAPITAL MARKETS LLC

BD
CRD#: 151812
NEW YORK, NY
Past

February 28, 2011 - September 25, 2012

TRANSCEND CAPITAL

BD
CRD#: 104483
AUSTIN, TX
Past

May 11, 2009 - February 18, 2011

PCS DUNBAR SECURITIES, LLC

BD
CRD#: 128144
PURCHASE, NY
Past

July 31, 2007 - April 30, 2009

GLB TRADING, INC

BD
CRD#: 125363
WESTPORT, CT
Past

May 8, 2006 - July 12, 2006

G-2 TRADING,LLC

BD
CRD#: 44018
NEW YORK, NY
Past

October 19, 2001 - June 20, 2002

TRINIX SECURITIES LLC

BD
CRD#: 103360
ENCINITAS, CA
Past

June 20, 2001 - October 22, 2001

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

October 13, 1997 - December 7, 1998

ON-SITE TRADING, INC.

BD
CRD#: 30271
GREAT NECK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(8/12/2025)
RR
California
(8/7/2025)
RR
Colorado
(8/28/2025)
RR
Delaware
(8/12/2025)
RR
Nevada
(8/28/2025)
RR
New Jersey
(3/20/2023)
RR
New York
(3/20/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/30/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/26/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/3/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/15/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PHX FINANCIAL, INC.

CRD#: 144403New York, NY 10005

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